12.04.04 Laws, Regulations, and Policies Related to the EAP
12.04.06 Services Offered by the EAP
12.04.07 Ensuring the Provision of a Quality Program
12.04.08 Leave Usage and Job Security
12.04.09 Confidentiality Procedures
12.04.01
PURPOSE
This subchapter describes the policies and procedures of the NIST Employee
Assistance Program (EAP). The EAP provides mental health services for employees
dealing with issues related to life, job performance, and work environment.
Additional general information regarding federal EAPs is available at http://www.opm.gov
and http://ohrm.doc.gov/.
12.04.02
SCOPE
This subchapter applies to all employees at NIST-Gaithersburg.
12.04.03
RESPONSIBILITIES
a. The Chief, Occupational Health and Safety Division is
responsible for the oversight and coordination of the EAP, policy and guidelines
development, and required reports and evaluations.
b. The Employee Assistance Program Administrator is responsible for ensuring the implementation of the EAP by designating a program coordinator, developing program guidelines, ensuring that appropriate staff members are trained to utilize the program effectively, publicizing the goals and procedures of the program, and evaluating and reporting on the program.
c. The Employee Assistance Program Coordinator is responsible for the operation of the program including providing counseling capability to effectively serve the needs of supervisors and employees effectively, ensuring the confidentiality of client records, referring employees to community resources when appropriate, conducting required training, and publicizing, evaluating and reporting on the program.
d. All employees of NIST are considered partners of the EAP and are encouraged to support program objectives and philosophy. Employees are encouraged to utilize the EAP when they have personal problems, including substance abuse, that may impact their work and family life.
e. Management may refer employees to the EAP who may need assistance
in handling personal concerns and to help with organizational issues that
may be affecting the mental health of employees.
12.04.04
LAWS, REGULATIONS, AND POLICIES RELATED TO THE EAP
The following statutes and regulations pertain to federal EAPs:
5 U.S.C. § 7901 (authorizing health services to promote the physical
and mental fitness of Federal employees)
Public Laws 96-180 and 96-181 (authorizing agencies to provide counseling
services to family members of employees who have alcohol and drug problems).
5 U.S.C. §§ 7361 and 7362 and 5 Code of Federal Regulations
(CFR) Part 792 (requiring Federal agencies to establish appropriate prevention,
treatment, and rehabilitative program services for alcohol and drug abuse
problems for Federal civilian employees and to report annually to Congress
on these programs)
5 U.S.C. § 7904 (authorizing EAPs for drug and alcohol abuse)
Executive Order 12564 (requires agencies to establish drug-free workplace
programs including an EAP as an essential element for achieving a drug
free workplace).
The following statutes and regulations address the confidentiality of
EAP records:
The Privacy Act of 1974, 5 U.S.C. § 552a, (restricts disclosure
of information from agency records about individuals and gives those individuals
rights of access to their records)
42 U.S.C. § 290dd-2 and 42 CFR Part 2 (confidentiality of substance
abuse patient records)
Other related policies:
NIST Plan for a Drug Free Workplace
NIST Guidelines- Understanding and Responding to Workplace Violence
12.04.05
ELIGIBILITY AND COST
a. Eligibility - The EAP is available to all NIST employees
and their family members regardless of the nature of their issues.
When the family member has a problem that is connected with the employee's alcohol or drug abuse, the family member may be seen by the EAP regardless of whether the employee is a client of the EAP. In these situations the family member is the client of the EAP and may receive all services.
When an employee has a personal concern that may be helped by the EAP seeing the family member, the family member may be seen by the EAP. The family member may also be seen by the EAP when the personal concern of the family member is affecting the employee's ability to function on the job. In these situations, the family member is considered the EAP client (whether or not the employee is an EAP client) and is the recipient of services.
A “family member” is defined as an employee's spouse and parents thereof; children, including adopted children, and spouses thereof; parents; brothers and sisters, and spouses thereof; and any individual related by blood or affinity whose close association with the employee is the equivalent of a family relationship.
b. Cost - There is no cost to employees and eligible family
members for EAP services, which may include up to six sessions per incident
with an EAP professional. There are times when it is appropriate
to refer employees and/or their family members to outside community resources.
When employees accept these referrals, they are responsible for the fees
charged by the facility. The EAP staff work with employees and/or
their family members to keep the cost within their financial means by tailoring
a referral to be within a client’s insurance program and/or finding a low-cost
or no-cost alternative (pro bono, free community services, sliding scale,
etc.).
12.04.06
SERVICES OFFERED BY THE EAP
a. Introduction - The EAP contributes to a healthy workplace
by providing quality mental health services to employees relating to work
and life issues. The EAP also provides services to managers or work
groups dealing with stressful organizational issues. One focus of
the EAP services is to assist employees, management, and organizational
units with concerns that have already emerged. The EAP staff work
with clients to find meaningful options for resolving these situations.
Prevention of work and life concerns is another primary focus of EAP services.
By providing prevention services, it is recognized that mental wellness
is an important factor influencing the health and productivity of NIST’s
employees. The EAP staff educates and advocates for self-identification
and early intervention.
The following paragraphs describe, in greater detail, the nature of the services provided by the EAP. The descriptions are divided according to who is requesting the service: individuals; managers; or groups. However, in many situations there may be overlap.
b. Services Offered to Individuals (Employees and their Family Members)
(1) Assessment - Counseling sessions during which the nature and extent of issues are determined; typically this activity takes one to six sessions.
(2) Referral - Actions to refer employees to one or more community resource(s) to receive services or treatment, as necessary.
(3) Short-Term Problem Solving - Limited sessions with a counselor to resolve problems that do not require referral to community resources; this activity is separate from the assessment process described above, although it is recognized the two activities may overlap; typically this activity takes no more than four to six sessions.
(4) Follow Up - Monitoring by the EAP staff of an employee’s progress during and after receiving assistance; the length and type of follow-up is determined by the clinical assessment of the employee’s needs.
(5) Emergency Information and Referrals - The EAP provides information or referrals for handling emergency situations outside of the EAP hours, such as telephone hotline counselors.
c. Services Offered to Supervisors and Managers
(1) Supervisory Referral Assistance - Sessions between the EAP and a supervisor to discuss a potential supervisory referral of an employee to the EAP or other appropriate source; in accordance with applicable confidentiality regulations, sessions to assist a supervisor in dealing and communicating with an employee after referral to the EAP.
(2) Supervisory Training and Education - Training programs for new supervisors so they are aware of EAP services and how to identify, deal with, confront, and refer troubled employees; on-going/refresher education for all supervisors and managers on these issues.
(3) Management Consulting - Consultations with managers to assess interpersonal issues affecting group performance and facilitate short-term intervention strategies or refer to other available resources (e.g., organizational development specialists).
d. Services Offered to Groups
(1) Critical Incident Stress Debriefing - A meeting or series of meetings held with witnesses, victims, and/or co-workers involved in a traumatic incident to gather facts and assist with their immediate emotional needs.
(2) Group Interventions - Short-term interventions to aid work teams in dealing with interpersonal issues (e.g., conflict, communications) that interfere or have the potential to interfere with individual and group performance.
(3) Education Programs - Seminars, brown-bag lunches, support groups, and other sessions held periodically to educate all employees about EAP services and various work and life issues that can be prevented or helped by utilizing the EAP; and orientation sessions to acquaint new employees with the EAP and to serve as a refresher course for current employees.
(4) Outreach - Posters, fliers, newsletters, bulletins and other techniques for informing employees about EAP services.
(5) Special Services - Provision of specialized
services in response to workplace issues that fall within the professional
purview of the EAP, such as shared grief intervention and counseling support
during a RIF or group relocation.
12.04.07
ENSURING THE PROVISION OF A QUALITY PROGRAM
a. Collaborate with Others Concerned with the Wellness of
NIST Employees
(1) The EAP staff respect and utilize the skills and knowledge of others inside and outside the EAP community. The program staff actively collaborate with programs, facilities, organizational units, and individuals to bring about the most positive outcome for individuals experiencing work and life concerns.
(2) In addition, the EAP staff actively collaborate with programs, facilities, organizational units, and individuals to promote prevention and early intervention. It is through connection with all members of the community that total wellness for employees and the workplace is achieved.
(3) Often, employees seek help from the EAP for sexual harassment, workplace violence, discrimination, and other such actions that are prohibited by other laws, regulations and policies. In addition to providing regular EAP services in these situations, the EAP assists employees (with their consent) in contacting and seeking out those individuals and programs that are responsible for officially responding to these concerns. See Department Administrative Order (DAO) 202-955, Allegations of Harassment Prohibited by Federal Law, and DAO 215-10, Filing Discrimination Complaints.
b. Reporting and Evaluation
(1) The EAP utilizes creative and innovative ways to continually provide effective mental health services. One of the ways the program ensures this effectiveness is through the collection of aggregate, numerical data on monthly program operations. In addition to other data collection activities, annual report aggregate, operational, and projected data is provided to EAP management to indicate the wellness of the organization. All such reported data is anonymous.
(2) Periodic special evaluations of program effectiveness are conducted.
(3) Clients provide anonymous feedback through EAP and/or NIST-wide customer satisfaction surveys.
c. Quality Assurance - The EAP maintains procedures for
assessing and ensuring the quality and appropriateness of its services
on a day-to-day basis.
12.04.08
LEAVE USAGE AND JOB SECURITY
Employees are on official duty when they meet with the EAP, provided
they obtain prior consent from their supervisor to visit the Health Unit.
In an emergency, supervisory consent may be obtained after using the EAP.
Confirmation of attendance will be provided either by the EAP or by the
Health Unit according to applicable confidentiality procedures. Employees
who do not want their supervisors to know of their attendance must arrange
appointments outside official duty hours or while on leave. Employees who
are referred to community resources for assistance must request approved
leave if these sessions occur during their scheduled work hours.
12.04.09
CONFIDENTIALITY PROCEDURES
a. Introduction - The EAP is committed to upholding
the highest professional standards in maintaining the privacy and confidentiality
of client records. The EAP adheres to the laws, policies, and regulations
that provide for protection of personal information. Employees utilizing
EAP services will be informed about confidentiality policies and procedures.
Programs and organizational units that partner with the EAP are also informed
about these procedures whenever situations arise that have the potential
to compromise the integrity of confidentiality standards.
b. General Procedures
(1) Authority for Protecting EAP Records - The Privacy Act covers all EAP records. In addition, regulations on the “Confidentiality of Alcohol and Drug Abuse Patient Records” may apply to EAP records. (See legal citations in Section 12.04.04.) Depending on the location of where the EAP services are provided and the professional credentials of the EAP counselor providing the services, there may be additional protection provided by state and professional association laws, regulations, and procedures, but this protection does not supercede the Privacy Act.
(2) Access to EAP Records - Access to EAP client records is generally limited to the EAP counselor working directly with the client. Additionally, qualified clinical mental health EAP professionals may have access to the EAP records for the purposes of program oversight, evaluation, and quality assurance.
Employees who utilize the EAP may have access to their own records, unless records or portions of records are exempt from disclosure under the Privacy Act. Written inquiries should be made to the NIST EAP counselor. The EAP counselor will provide employees and their representatives with information about how to access the records.
(3) Record Ownership - All EAP records are federal agency records.
(4) Informing Employees - Employees utilizing the EAP must be informed of these confidentiality provisions and furnished with a written summary.
c. Releases of Information
(1) Disclosure With Consent - Except where disclosure without consent is allowed (see paragraphs below), the employee's written consent must be obtained before any release of information can be made
(2) Disclosure Without Consent - Disclosure without consent is only permissible in specific instances such as to medical personnel in a medical emergency, under certain court orders, to comply with Executive Order 12564, "Drug Free Federal Workplace,” to comply with the Department of Transportation’s Alcohol and Drug Testing Program where applicable, and as permitted under the Privacy Act. The EAP may also communicate with a qualified organization (such as the employee’s health insurance company to determine benefits and referral procedures). The exchange is limited to the information needed by the organization to provide required services.
(3) Releases of Information to Union Representatives, and Other Programs and Organizations Who Work with the EAP - As with all other releases of information, the EAP requires an employee’s written consent to discuss any information with Union Representatives and other programs or organizations.
(4) Secondary Disclosure of Information - Any information disclosed with an employee’s consent must be accompanied by a written statement that prohibits further disclosure, unless the consent expressly permits further disclosures. It shall be attached to any written information released or sent separately if the information was released orally. Duplicates shall be maintained within the employee’s EAP records.
d. Recordkeeping Procedures that Support the Confidentiality of Client Information
(1) Case Coding - To ensure confidentiality, all records shall be maintained and retrieved by case numbering systems, rather than by names.
(a) Each employee using the EAP will be assigned a unique number.
(b) All case materials shall be placed in a folder or computer files labeled with this unique case number.
(c) A list of code numbers that correspond to the employees' names will be maintained in a locked or secure file separate from the case folders. It shall be secured when not in use and shall be maintained by the EAP counselor. Neither names nor case numbers will be used in reports of individual or grouped information in reports of aggregate information.
(d) In addition to active and reactivated records, the case coding and filing systems shall include records that have been closed (but not yet destroyed).
(2) File Contents - To the extent possible, all entries in case records shall not contain identifying information. Some identifying information may be necessary at times (such as consents for release of confidential information) but shall be kept to a minimum. All contacts regarding employees shall be recorded in their files, with the most recent information filed on top. Entries shall only contain information necessary for handling cases. EAP file contents shall never be part of or stored with Official Personnel Folders, Employee Medical Files, or any other system of records at NIST.
(3) Family Member Files - Information on family members of employees who use the EAP shall be maintained separately from the records of the employees.
(4) Location and Physical Security of Written Records - All case records will be kept in locked, metal filing cabinets preferably equipped with combination padlocks and steel lock bars. Cabinets shall be locked when not in use. Only qualified clinical mental health professionals familiar with the proper handling of records have access to the records. File cabinets shall not contain the records of other NIST programs or organizations.
(5) Security of Electronic Records - The same confidentiality safeguards shall be taken when records are stored electronically. EAP data systems shall be protected from entry by anyone outside the EAP. Computers shall be password protected or discrete from other systems. As with written records, computers containing EAP records shall be secured at the end of each day.
(6) Period of Maintenance - Records are retained until three years after employees have ceased contact with the EAP, whether or not employees have terminated employment with NIST or until any litigation involving the employee is resolved.
(7) Record Destruction - Only the NIST EAP counselor will destroy records, with one witness present, and only after the required period of maintenance. The witness must be familiar with handling confidential records. This includes electronic deletions.
(a) Paper records will be destroyed by shredding or burning.
(b) Electronic records are destroyed by deleting all portions of hard drives, floppy diskettes, tapes, and other electronic media that may contain the records. Computers that leave the possession of the EAP have all files deleted and overwritten.
(c) All records must be maintained pursuant to federal records retention schedules.